Search for: "Financial Industry Regulatory Authority"
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18 Nov 2015, 2:02 pm
Without admitting to or denying the Financial Industry Regulatory Authority findings, Harris consented that he refused to respond to FINRA’s request for information. [read post]
1 Sep 2009, 7:30 am
The Securities and Exchange Commission (SEC), the North American Securities Administrators Association (NASAA), and the Financial Industry Regulatory Authority (FINRA) have all recently warned that leveraged exchange traded funds (ETFs) are very dangerous investments and not suitable for most retail investors. [read post]
19 Jun 2015, 7:35 am
The Financial Industry Regulatory Authority (FINRA) recently barred broker Mark Weindling (Weindling) concerning allegations that Weindling failed to respond to the regulator’s requests to provide information and documents concerning the an investigation into claims that Weindling effected transactions within the account of a deceased customer. [read post]
28 Dec 2018, 6:24 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), the complaints against Kelly concern allegations of unsuitable investments and allegations of unauthorized trading, misrepresentations and negligence mostly in equity products. [read post]
9 Feb 2018, 8:37 am
Yesterday, the Financial Industry Regulatory Authority (“FINRA”) published a report stating between 22 and 30 percent of arbitration awards issued through the organization’s forum went unpaid between 2010 and 2016. [read post]
4 Dec 2017, 1:49 pm
According to Trenchard’s BrokerCheck records, he was identified in a Financial Industry Regulatory Authority (FINRA) investigation on March 10, 2017. [read post]
28 Jul 2015, 6:24 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker James Connors (Connors) has been the subject of at least two customer complaints. [read post]
1 Nov 2010, 5:34 pm
Broadly, in its letter to the SEC, the Managed Funds Association asked the Commission to consider the appropriate regulatory framework for hedge fund and private investment fund advisers against the backdrop of a hedge fund industry that, while important to the capital markets, is relatively small in size and scope when considered in the context of the wider financial market landscape. [read post]
9 Feb 2024, 6:33 am
On 8 February 2024, the Financial Conduct Authority (FCA) published an update on its progress in tackling financial crime, which identifies four areas of focus for the coming year. [read post]
15 Dec 2011, 6:14 am
” The word “abusive” in particular has raised industry concerns, as it appears on its face to be an open-ended mandate. [read post]
30 Jan 2024, 10:30 am
In the absence of rulemaking by the Securities Exchange Commission (SEC), what makes a security is still an open question in the financial industry. [read post]
25 Jul 2015, 7:07 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Frederick Monroe (Monroe) has been the subject of at least three customer complaints alleging that the broker misappropriated funds. [read post]
21 Sep 2015, 6:51 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Ahmad “Kevin” Wares (Wares) has been the subject of at least seven customer complaints one employment separation, and one judgment/lien over the course of his career. [read post]
22 Nov 2019, 12:44 pm
According to the Financial Industry Regulatory Authority on November 21, the regulator has reportedly barred financial advisor Matthew L. [read post]
2 Mar 2012, 9:05 am
Recently a Financial Industry Regulatory Authority (FINRA) Panel, according to the NY Times, awarded an investor $1.38 million for his losses in the Lyon Capital Management collateralized loan obligation (CLO). [read post]
6 Feb 2012, 10:56 am
” According to the Financial Industry Regulatory Authority (FINRA) CRD for Kale Edgar Evans, he was registered with FINRA member firm First Allied Securities, Inc. from 12/2007 until 01/2010. [read post]
12 Aug 2015, 9:07 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker David Ledoux (Ledoux) was recently fined and suspended by the regulator for failing to disclose certain liens on his registration. [read post]
11 Nov 2023, 4:25 am
Key takeaways from Hong Kong Fintech Week Hong Kong Fintech Week 2023 saw several new policy and regulatory announcements by the Financial Services and the Treasury Bureau (the FSTB), the Securities and Futures Commission (the SFC) and the Hong Kong Monetary Authority (the HKMA). [read post]
24 Aug 2018, 9:08 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former Vanderbilt Securities, LLC (Vanderbilt Securities) broker Mark Kaplan (Kaplan) has been subject to eight disclosed customer complaints, one employment termination for cause, and one regulatory action resulting in an industry bar. [read post]
26 Jul 2015, 9:30 pm
Aviation is a global business, so the CAA liaises with the European authority as well as the global authority in Montreal. [read post]
